DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

B•••• T••••• W••••

T• P•••••• C••••• W••••• L••BD affiliatedGreenville, Scdual registrantIAPD 2759891

Feed of 09/14/2026

At current firm

0 y

since Apr 22, 2026

In the industry

30 y

since Aug 19, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T• P•••••• C••••• W••••• L•• BD affiliated current
since Apr 22, 2026 · Greenville, Sc
G•• S••••••••• I••• BD affiliated
Mar 17, 2026 to Mar 23, 2026 · Palm Beach Gardens, Fl
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA
May 8, 2023 to Jan 10, 2025 · Tampa, Fl
C••••• A•••••• N••••••• L•• former
Sep 11, 2018 to Dec 17, 2022 · Atlanta, Ga
C••••• A•••••• N••••••• L•• former
Sep 13, 2010 to Sep 5, 2018 · Atlanta, Ga
V••• F•••••••• A•••••••• I••• BD affiliated
Jan 2, 2004 to Feb 1, 2010 · Atlanta, Ga
L••••• S••••• S••••••••• I••• unclassified
Jul 21, 2003 to Dec 31, 2003 · Des Moines, Ia

Moves

a registration end followed by a registration begin elsewhere

G•• S••••••••• I••• to T• P•••••• C••••• W••••• L••
left Mar 23, 2026, registered Apr 22, 2026 (30 days) · Affiliated broker-dealer or bank to another
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to G•• S••••••••• I•••
left Jan 10, 2025, registered Mar 17, 2026 (431 days) · RIA to affiliated broker-dealer or bank
C••••• A•••••• N••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Dec 17, 2022, registered May 8, 2023 (142 days) · Affiliated broker-dealer or bank to independent RIA
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Feb 1, 2010, registered Sep 13, 2010 (224 days) · Other
L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••
left Dec 31, 2003, registered Jan 2, 2004 (2 days) · Other

Signals

B•••• T••••• W•••• left G•• S••••••••• I••• for T• P•••••• C••••• W••••• L•• (registered 2026-04-22)
Mar 23, 2026 · a•••••• firm change · fact
B•••• T••••• W•••• left U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• for G•• S••••••••• I••• (registered 2026-03-17)
Jan 10, 2025 · a•••••• firm change · fact
B•••• T••••• W•••• left C••••• A•••••• N••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2023-05-08)
Dec 17, 2022 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address